FINRA Securities Arbitration

FINRA Securities Arbitration

We advise brokers, registered representatives and broker dealer firms in arbitration before FINRA arbitration panels, as well as in court. Our knowledge and understanding of ongoing and developing trends in FINRA arbitration, from ongoing rule changes and their impact on the industry to panelist sentiment, is unmatched in the legal community. As a former broker, our firm’s founding partner understands the securities ecosystem and how to communicate with arbitration panels to achieve the best outcome for you.

We can help:

  • Defend brokers, registered representatives and broker dealer firms against claims made by clients.
  • Represent securities industry professionals in employment-related arbitration proceedings against broker dealer firms before FINRA regarding unpaid bonus, unpaid commissions and wrongful termination claims. 
  • Broker dealer firms by preparing new non-disclosure agreements and non-solicitation agreements or we can help broker dealer firms enforce the provisions within their non-disclosure and non-solicitation agreements against current and former employees of the broker dealer firm.
  • Defend current and former employees of broker dealer firms against employment agreements which include restrictive covenants such as non-disclosure agreements which prohibit current and former employees from disseminating trade secrets or confidential information and non-solicitation agreements which bar current and former employees from former customers for a specified period of time and within a defined geographical area.
  • Brokers and registered representatives of broker dealer firms concerning transitional compensation payment (e.g., promissory note, up-front bonus, recruiting bonus or forgivable loan) matters.
  • Securities industry professionals, when their broker dealer firm seeks to blame them for the firm’s improper actions, for actions which the firm knew about and authorized, or for the firm’s own failure to supervise a customer’s account by bringing a claim against them for improper or unlawful conduct.
  • FINRA Form U-5 expungements.

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